Eric Caouette
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eric Caouette was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2003. Eric had worked at 1 firm and has passed the Series 63, SIE, Series 37 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2003 - September 29, 2021
DUBEAU CAPITAL USA, INC.
Primary Firm SEC Registration
DUBEAU CAPITAL USA, INC.
CRD#: 119222 / SEC#: 801-122016, 8-65162
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 37
Date: 9/11/2002
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
DUBEAU CAPITAL USA, INC.
CRD#: 119222 / SEC#: 801-122016, 8-65162
Contact information
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 47,887,720 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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